STATE OF WASHINGTON DEPARTMENT OF FINANCIAL INSTITUTIONS SECURITIES DIVISION SDO
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1 STATE OF WASHINGTON DEPARTMENT OF FINANCIAL INSTITUTIONS SECURITIES DIVISION IN THE MATTER OF DETERMINING whether there has been a violation of the Securities Act of Washington by: JAY D. KAISER, SENIOR ADVISOR, INC., a Washington corporation, and JAY D. KAISER, individually, Respondents. SDO Case No THE STATE OF WASHINGTON TO: Jay D. Kaiser, Senior Advisor, Inc. Jay D. Kaiser, President NE th, Suite Seattle, WA Jay D. Kaiser th Avenue SW Seattle, WA 1 STATEMENT OF CHARGES Please take notice that the Securities Administrator of the State of Washington has reason to believe that Respondents, Jay D. Kaiser, Senior Advisor, Inc., a Washington corporation, and Jay D. Kaiser, individually, have each violated the Securities Act of Washington, Chapter. RCW, and that their violations justify the entry of an order by the Securities Administrator under RCW..0 to cease and desist from such violations. The Securities Administrator finds as follows: TENTATIVE FINDINGS OF FACT I. Respondents 1. Jay D. Kaiser, Senior Advisor, Inc. ("Advisor") is a closely held Washington for-profit corporation authorized to do business December,. Advisor's primary place of business is located at NE th Street, Suite, in Seattle, Washington. Advisor provides financial and investment advice to senior citizens and others primarily relating to income tax reduction, asset protection, and long-term care planning. Advisor is neither a Federally nor a State licensed investment adviser. 1 DEPARTMENT OF FINANCIAL INSTITUTIONS
2 . Jay D. Kaiser ("Kaiser") is the Chairman, President, and sole officer of Advisor. Kaiser has been licensed by the Office of the Insurance Commissioner as an insurance agent since October,, and currently hold a license to sell life and disability insurance. Kaiser is neither a Federally nor a State licensed investment adviser representative. Kaiser resides in Seattle. II. Nature of the Violations. Beginning on or about January 1,, and continuing through October, 01, Respondents provided investment advice for compensation. Beginning on or about February, Respondents conducted free introductory seminars throughout Western Washington. During the seminar, Respondent Kaiser provided basic information about how seniors could protect their assets, focusing on fighting inflation, reducing taxes, and paying for long-term medical care. Throughout the seminar, Respondent Kaiser solicited attendees to retain the services of Respondents, offering $0 discounts to attendees who signed up and paid in full at the seminar, and $0 discounts to attendees who signed up at a later date.. Attendees who decided to retain Respondents were asked to sign a "Fee Agreement" disclosing the terms of the retainer, including the fee. The fee before discount ranged from $ in to $ in. In November, the Fee Agreement provided that the relationship between Respondents and a client was one of Client/Advisor; covered a period of one year; that the Advisor would conduct an analysis of the client's financial situation and make recommendations based on that analysis; and that the Advisor was not a financial planner, investment adviser, investment counselor, or attorney.. Once the client indicated a desire to retain Respondents, Respondents set an appointment for an interview with the client. Respondents instructed clients to bring to the interview information related to their financial situation. Respondents used the information from the interview to prepare recommendations.. Respondents advised some clients to transfer and/or sell securities to finance the purchase of fixed annuities and other insurance products. DEPARTMENT OF FINANCIAL INSTITUTIONS
3 . At all times material to this action, Respondent Advisor was not registered as an investment adviser in the State of Washington, was not exempt from State or Federal registration, and was not registered or exempt from registration under the Investment Company Act of 0.. At all times material to this action, Respondent Kaiser was not registered as an investment adviser representative in the State of Washington, was not exempt from State or Federal registration, and was not registered or exempt from registration under the Investment Company Act of 0. Based upon the above Tentative Findings of Fact, the following Conclusions of Law are made: CONCLUSIONS OF LAW 1. The provision of advice, for compensation, to transfer and/or sell securities, constitutes acting as an "investment adviser" and/or "investment adviser representative" as defined in RCW..00() and ().. Respondents have each violated RCW..00 by acting as an investment adviser and/or investment adviser representative while not registered with the of the State of Washington. EMERGENCY Based upon the foregoing, the Securities Administrator finds that an emergency exists and that Respondents' continued violations of RCW..00 constitutes a threat to investors and to the public. The Securities Administrator finds that a Summary Order to Cease and Desist is in the public interest and necessary for the protection of the investing public and should be entered immediately. SUMMARY ORDER Based upon the foregoing, NOW, THEREFORE, IT IS HEREBY SUMMARILY ORDERED that Respondents Jay D. Kaiser, Senior Advisor, Inc. and Jay D. Kaiser, and their officers, directors, employees, DEPARTMENT OF FINANCIAL INSTITUTIONS
4 partners, agents, subsidiaries, successors, and all persons in active concert or participation with any of them, shall each cease and desist from acting as unregistered investment advisers and/or unregistered investment adviser representatives in violation of RCW..00, the investment adviser and investment adviser representative registration section of the Securities Act. NOTICE OF INTENT TO IMPOSE FINES Based upon the provision of investment advice for compensation to more than fifty Washington residents, by an unregistered investment adviser and/or unregistered investment adviser representative, and upon the above Tentative Findings of Fact and Conclusions of Law, the Securities Administrator finds that one or more knowing or reckless violations of the Securities Act have occurred such that the imposition of fines is warranted pursuant to RCW... Therefore, the Securities Administrator intends to order that Respondents Jay D. Kaiser, Senior Advisor, Inc. and Jay D. Kaiser shall be jointly and severally liable for, and shall pay, a fine in the amount of Ten Thousand Dollars ($,000). NOTICE OF INTENT TO ORDER AFFIRMATIVE ACTION Pursuant to RCW..0, and based upon the above Tentative Findings of Fact and Conclusions of Law, the Securities Administrator intends to order that Respondents shall be jointly and severally liable for and shall take appropriate affirmative action to correct conditions resulting from the violations, including, without limitation, a requirement to provide notice of this action and an opportunity for refunds of fees to clients who were advised to transfer and/or sell securities. DEPARTMENT OF FINANCIAL INSTITUTIONS
5 AUTHORITY AND PROCEDURE This Order is entered pursuant to the provisions of RCW..0 and RCW.., and is subject to the provisions of the Administrative Procedures Act, Chapter.0 RCW. Respondents may each make a written request for a hearing as set forth in the NOTICE OF OPPORTUNITY TO DEFEND AND OPPORTUNITY FOR HEARING accompanying this order. If any Respondent does not request a hearing, as to that Respondent, the Securities Administrator intends to adopt the above Tentative Findings of Fact, Conclusions of Law, and Summary Order as final, impose the fines sought, and order the affirmative relief requested. WILLFUL VIOLATION OF THIS ORDER IS A CRIMINAL OFFENSE. ENTERED this th day of May, 0. Approved by: Deborah R. Bortner, WSBA # 0 Securities Administrator Presented by: /s/ /s/ Michael E. Stevenson, WSBA # Anthony W. Carter, WSBA # Chief of Enforcement Staff Attorney DEPARTMENT OF FINANCIAL INSTITUTIONS
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